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G20 Anti-Corruption Action Plan - Combating Corruption, Promoting Market Integrity, and Supporting a Clean Business Environment

First Monitoring Report

1

FIRST MONITORING REPORT

OF THE G20 ANTI-CORRUPTION WORKING GROUP TO G20 LEADERS ON INDIVIDUAL AND COLLECTIVE PROGRESS MADE BY G20 COUNTRIES

IN THE IMPLEMENTATION OF THE SEOUL ACTION PLAN

INTRODUCTION

was tasked with the implementation of this Action Plan and to respond to the call from Leaders at the

by G20 countries in the implementation of the Action Plan to be submitted on an annual basis to the G20

Leaders for the duration of the Action Plan with a first monitoring report for Leaders at the next Summit

in France.'

2. The report is based on both progress made by G20 countries and work taken forward by the Working

Group. The first section of this Report provides an assessment of the collective progress made by the

Working Group and the G20 in the implementation of the Action Plan and signals what further work is

required. The second section highlights some specific examples of significant individual country progress

that the Working Group agreed should be recognised. A snap shot of individual country progress against

the main aspects of the Action Plan, based on the responses provided to a questionnaire, can also be

found at the end of the report. The third section of the Report draws out a set of recommendations for

consideration by Leaders to ensure that G20 countries continue to make positive progress against the

Action Plan.

3. The World Bank, OECD, UNODC, IMF and FATF, as well as the WTO have provided valuable technical

advice to the Working Group to support the progress outlined in this report. The Co-chairs of the Working

Group have also received useful input and suggestions on an informal basis from relevant non-

governmental organisations. I. GENERAL COLLECTIVE ASSESSMENT OF PROGRESS MADE SINCE SEOUL

4. The Working Group has met four times (twice in Indonesia and twice in France), with a number of

Corruption: G20 Business and Goǀernments', on 27-28 April 2011 in Paris, organised by the French

Presidency of the G20 and the OECD, with support from the UNODC.

5. Members agreed to operate on the basis of the following four principles:

i. to stick to the Action Plan; ii. to focus on concrete actions; iii. to avoid duplication; and

iv. to be realistic about what could be achieved in terms of timeframe and resources, including to only

focus on actions that could be delivered within a 2 year time frame.

G20 Anti-Corruption Action Plan - Combating Corruption, Promoting Market Integrity, and Supporting a Clean Business Environment

First Monitoring Report

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Key areas of progress

6. The following is an assessment of the collective progress made by the Working Group and the G20

countries in the implementation of the main areas of the Action Plan and what further work remains to

partnerships'. ¾ The implementation of the international legislative framework

7. Seventeen G20 countries have ratified and implemented UNCAC; fifteen are party to and have

implemented the OECD Anti-Bribery Convention. One country has become a full member of the OECD Anti-bribery Working Group (OECD WGB) in 2011, while three others have regularly participated in its

activities. G20 Countries have also continued to participate in the UNCAC and OECD peer review

processes. Six G20 countries have now undergone an UNCAC review and those still outstanding are scheduled to take place by 2014. Fifteen G20 countries have undergone Phase 1 and Phase 2 OECD

reviews. Ten have undergone the Phase 3 reviews evaluating their foreign bribery framework and

enforcement efforts.

8. However, whilst progress has undoubtedly been made in the past year, there is still more to be done.

The Working Group agreed, as a priority, to 1) ensure that those countries that have not already done so,

fully ratify and implement the UNCAC Convention and adopt legislation combatting international bribery,

2) foster more active engagement within the OECD WGB by countries that are not already party to the

OECD Convention, with a view to future ratification, and 3) ensure that the implementation and

enforcement of the conventions are effectively reviewed. It was discussed whether those countries that

have not done so already could commit to a deadline to this end at the Cannes Summit. All G20 countries

will continue to encourage both G20 and non-G20 countries to make progress in this area.

9. The Working Group has also taken further action to support the effective implementation of the UNCAC

and OECD conventions. The Working Group has encouraged G20 countries to participate in technical assistance and awareness seminars/events. The UNODC and the OECD provided details of their workshops and conferences on best practices and technical assistance on the implementation of the

conventions. Indeed, several G20 countries have partnered with international organisations to jointly host

events. For example, the OECD and KPK (Indonesia's Anti-Corruption Authority) jointly hosted a

Conference on Combatting Foreign Bribery in international Business Transactions on 10-11 May 2011, and

the OECD, Asian Development Bank and Indian Government jointly hosted a similar Conference on 27-30

September 2011.

10. The Working Group also discussed an assessment of the first round of UNCAC Reviews and looked at

ways to strengthen them further. In particular, the Working Group agreed that G20 countries should lead

by example in these reviews by enhancing transparency and inclusivity, through considering the voluntary

options in accordance with the Terms of Reference of the Mechanism. Action points 1 and 2 of the Action Plan relate to the commitment made by G20 leaders to ratify or accede, and fully implement UNCAC as soon as possible and to adopt and enforce laws and other measures against international bribery, and by 2012, on a voluntary basis, to have more active

engagement with the OECD Working Group on Bribery, with a view to the future ratification of the OECD

Convention.

G20 Anti-Corruption Action Plan - Combating Corruption, Promoting Market Integrity, and Supporting a Clean Business Environment

First Monitoring Report

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11. Finally, with regards to the fight against foreign bribery, the Working Group agreed that, in addition to

legislative and enforcement efforts, those who do not already do so, should commit to engage more actively within the OECD WGB meetings, and participate in OECD workshops and seminars. ¾ National measures to prevent and combat corruption

12. Preventing corrupt officials from accessing the global financial system and from laundering the proceeds

of corruption is critical to the fight against corruption. G20 members have worked actively with FATF to

emphasize the importance of Anti Money Laundering tools, with the first FATF Experts Meeting on

Corruption taking place on 27th February 2011 in Paris, bringing together both AML and anti-corruption

proceeds of corruption, its efforts to identify those jurisdictions with strategic AML deficiencies and its

on-going work to identify best practices and devise guidance on anti-corruption. The Working Group also

supports the adoption by the FATF of its comprehensive work plan on anti-corruption, and commends the

agreed proposals for implementation by G20 members and international organisations. The on-going

revision of the FATF Standards provides a key opportunity to step up international efforts, in particular on

beneficial ownership, politically exposed persons, confiscation, international cooperation, and the

inclusion of the UNCAC standards into the FATF recommendations. It will be important for G20 Leaders to

step-up their political support to ensure that an ambitious revision of the FATF Recommendations is agreed by no later than February 2012.

13. G20 countries have committed to enact and implement whistleblower protection rules by the end of

2012. Thirteen G20 countries already have relevant whistleblower protection legislation in place for the

private sector, and fourteen for the public sector. Many countries are in the process of strengthening

existing whistleblower protection measures or introducing legislation. In order to support the

development and implementation of legislation in all G20 countries by the end of 2012, the Working Group asked the OECD to elaborate a study of whistleblower protection legislation and enforcement mechanisms, a compendium of best practices, and suggest a set of guiding principles for legislation.

14. Anti-corruption bodies or enforcement authorities (ACAs) are critical for the effective implementation

of anti-corruption policies. The Working Group has based its work on a study from the World Bank on

anti-corruption authorities which identifies key requisites for a more effective functioning of ACAs, and

their policy implications. This includes the endorsement of a set of best practices for the effective

functioning of ACAs identified by the World Bank. One critical lesson is that strong and sustained political

support for these bodies from leadership to middle management is essential for them to be effective and operate free of undue influence.

prevention of corruption, in the public sector, including the management of public finances'. However,

the Action Plan does not flesh out in detail what concrete action this entails. On the back of advice from

the international organisations, the Working Group has agreed that in order to progress the G20 should

make commitments in three areas: Promoting the integrity, honesty and accountability of all public

officials; adopting fair and transparent government procurement systems; and committing to fiscal and

Action points 3, 7, 8 and 9 of the G20 Anti-Corruption Action Plan relate to the commitments made by leaders to implement domestic measures to prevent and combat corruption. This includes the implementation of measures relating to: preventing and combating money laundering; protecting

whistleblowers in the public and private sector; strengthening the effective functioning of national anti-

corruption authorities; and promoting integrity in the public sector.

G20 Anti-Corruption Action Plan - Combating Corruption, Promoting Market Integrity, and Supporting a Clean Business Environment

First Monitoring Report

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budgetary transparency. Specific commitments for Leaders to consider are outlined in Section III of this

report.

¾ International cooperation

16. With a view to developing a cooperative framework to deny entry and safe haven to corrupt officials, the

Working Group has carried out a review of existing practices and barriers to the denial of entry of

corrupt officials into G20 countries. However, the legal basis and enforcement of these powers differ

greatly across G20 members and coordination between national governments is not sufficient enough to

make this an effective deterrent from corrupt practices by individuals operating on a global scale. As a

result, the group has agreed to develop a set of common principles for national measures to deny entry

to corrupt officials for discussion in early 2012. The implementation of these principles at the national

level, in accordance with each country's own legislative framework, should provide the foundation for a

stronger international framework for the denial of entry and safe haven of corrupt officials.

17. In the areas of extradition and mutual legal assistance, the Working Group has been pursuing progress on

two fronts: 1) a self-assessment of the capacity of G20 countries to undertake successful extradition

and mutual legal assistance with other G20 members in corruption matters. As a result the Working

Group is reviewing priority areas of action, and potential innovations, to strengthen such capacity and

facilitate international cooperation; and 2) the Group is now producing a G20 step-by-step guide (based

on existing work in other fora) to mutual legal assistance to support improved international cooperation

against corruption.

18. International cooperation to support the recovery of the proceeds of corruption has been a subject of

particular interest in 2011, even more so in relation to recent events in the MENA region. The Working

Group has made progress on a number of fronts to strengthen the G20 capacity to carry out and support

successful asset recovery. The Working Group has looked at operational mechanisms to support effective

asset recovery. With the support of the World Bank and UNODC, contact points were designated for i)

StAR/Interpol, ii) UNCAC Asset Recovery and iii) UNCAC Central Authority Notification, ensuring that the

names and contact details of these people are readily accessible to all those who require them. This will

help ensure that there are clear and effective channels for international cooperation on asset recovery.

19. However, inadequate national measures and weak international cooperation continue to raise barriers to

effective asset recovery. Building on the work of the StAR initiative as well as the review of G20 members'

capacity to trace corrupt assets, the Working Group agreed on the key elements of an effective

framework and a set of principles for asset recovery to be implemented by G20 members.

20. Finally, the integrity of the international organisations and their operations is a significant contribution to

the fight against corruption. The Working Group welcomed the launch of the Multilateral Development

Banks' cross-debarment database, which publically lists all companies ineligible to be awarded an MDB

contract for the periods indicated because they have been sanctioned under their fraud and corruption

policy. More broadly, in order to ensure the integrity of the international organisations, the Working

Group has also supported the UN Institutional Integrity Initiative. The co-chairs of the Working Group

Action points 4, 5 and 6 of the G20 Anti-Corruption Action Plan relate to the commitments made by G20

Leaders to strengthen international cooperation to: deny entry and safe haven in G20 jurisdictions to corrupt officials and those who corrupt them; promote the UNCAC provisions and the signing of bilateral and multilateral treaties relating to extradition, mutual legal assistance and asset recovery; support the recovery of the proceeds of corruption stowed abroad; and ensure that the International organisations operate with transparency, high ethical standards, effective internal safe guards and the highest standard of integrity.

G20 Anti-Corruption Action Plan - Combating Corruption, Promoting Market Integrity, and Supporting a Clean Business Environment

First Monitoring Report

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have written to the UN on behalf of the G20, calling on the UN to push forward this initiative and to

promote wider implementation. The Working Group has also expressed its support for current World

Bank exercise to benchmark IO ethics offices.

¾ Public-private partnerships

21. The Conference on Joining Forces against Corruption: G20 Business and Government, co-organised by

the G20 French Presidency and the OECD, with the support of UNODC, on 27-28 April 2011 in Paris,

provided, for the first time, a platform for high-level executives and government officials of all G20

countries to examine best practices and other forms of business engagement in combating corruption

and to consider how G20 businesses could share their on-going efforts. All G20 members were

represented at this conference.

22. This dialogue with the private sector has helped to identify a number of priority areas where G20

countries and businesses can work better together to fight corruption. Issues discussed included:

supporting the collection of more easily accessible guidance and compliance tools for businesses;

supporting and implementing sectoral initiatives such as the Extractive Industries Transparency

Initiative (EITI) and the promotion of other initiatives in sensitive sectors, such as CoST in the construction

sector; putting in place more reliable government systems that reward good behaviour and voluntary disclosure by businesses; streamlining the public procurement system; and the need for a continuous

dialogue between the public and private sector. The G20 Business Summit (B20) will provide the

opportunity to further discuss these issues through a pledge by companies to complement G20 efforts to

fight corruption. II. SPECIFIC EXAMPLES OF INDIVIDUAL COUNTRY PROGRESS MADE SINCE SEOUL

Since the adoption of the Seoul Action Plan, significant progress has been made, in particular in respect of

the adoption of legislation, in the following G20 countries:

China amended its criminal code in February 2011 introducing foreign bribery as an offence. It has also

hosted in cooperation with the OECD a technical seminar to discuss the establishment of a foreign bribery

offence (October 2010) and has participated in several meetings of the WGB. A second seminar is

currently in preparation that will focus on international cooperation against foreign bribery. In the EU, an anti-corruption package was adopted by the European Commission in June 2011, through which an EU anti-corruption reporting mechanism was set up, for periodic evaluation of EU Member

States' efforts against corruption, including through further compliance with regional and international

commitments.

India has ratified UNCAC on 1 May 2011. As part of its implementation package of UNCAC, it has

introduced a bill in Parliament criminalizing foreign bribery in March 2011. As a member of the

ADB/OECD Anti-Corruption Initiative for Asia and the Pacific, it hosted the 16th Steering Group meeting

and 7th Regional Conference of the ADB/OECD Initiative co-organised with the OECD in September 2011.

Recognizing the pivotal role that the private sector plays in the fight against corruption, the G20 Leaders

called for a strengthened partnership between the public and the private sector for jointly developing

and implementing initiatives to fight corruption.

G20 Anti-Corruption Action Plan - Combating Corruption, Promoting Market Integrity, and Supporting a Clean Business Environment

First Monitoring Report

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The Republic of Korea enacted a law protecting whistleblowers in the private sector which entered into

force on 30 September 2011.

Russia, enacted a new legislation, improving the public governance in counteracting corruption in

criminalizing foreign bribery, including intermediation in bribery. Russia is now a full participant in the

OECD WGB and is expected to adhere to the Convention soon. Saudi Arabia established in May 2011 a National Anti-corruption Commission to deal with all forms of

financial and administrative corruption. It has been invited to attend the 2011 December plenary

meetings of the OECD WGB.

The United Kingdom's Bribery Act, which modernized and strengthened its foreign bribery offence,

entered into force on 1 July 2011. This followed the issuance of the official guidance for the private sector

on procedures that commercial organisations can put in place to prevent bribery on their behalf.

The United States' Dodd-Frank Act (January 2010) requires resource extraction issuers to disclose

information relating to payments made by the issuer, or by a subsidiary, to a foreign government for the

purpose of the commercial development of oil, natural gas, or minerals, aimed at improving the

effectiveness of transparency in specific areas and established whistleblower protection in the private

sector. Important steps have also been taken in other countries with a view to strengthening anti-corruption

efforts. This includes: the introduction of a bill to address misconduct and accountability in the judiciary

and an ombudsman law in India; the drafting of a new anticorruption law , including a foreign bribery

offence, the enactment of a new anti money laundering legislation which entered into force in July 2011,

and the successful organisation of an international conference with the OECD on the bribery of foreign

public officials in Indonesia; the establishment of a multi-agency Criminal Assets Confiscation Taskforce in

Australia; the establishment of an anti-corruption task team and a special anti-corruption unit in South

Africa; the conclusion of MLA treaties and an amendement to anti-money laundering legislation in Japan;

a bill introducing corporate liability and the enactment of a new anti-money laundering legislation which

entered into force in June 2011 in Argentina; the proposal of a new law for enhancing the transparency

of political party finance and election campaigns and an ombudsman law in Turkey; and, the introduction

of bills to strengthen money laundering and counter terrorist financing efforts and to protect

whistleblowers in the private sector in Mexico.

III. KEY RECOMMENDATIONS TO THE LEADERS

To ensure the effective implementation of the G20 Anti-Corruption Action Plan and encourage further progress

and action to combat corruption, promote market integrity and support a clean business environment, the

Working Group recommends that Leaders consider the following commitments for adoption at the Cannes

Summit:

1. In order to lead by example in the fight against corruption through the ratification and implementation

of international anti-corruption conventions and the adoption of legislation criminalizing foreign

bribery, G20 members: - Commit to accelerate, in accordance with the commitments of the Action Plan, their efforts to ratify and fully implement the UNCAC, with a view to doing so as soon as possible.

G20 Anti-Corruption Action Plan - Combating Corruption, Promoting Market Integrity, and Supporting a Clean Business Environment

First Monitoring Report

7 - Commit to lead by example in ensuring the transparency and inclusivity of UNCAC reviews by considering the voluntary options in accordance with the Terms of Reference of the Mechanism. - Commit to enact and proactively implement, and enforce legislation criminalizing foreign briberyquotesdbs_dbs21.pdfusesText_27

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